DISCIPLINED PERSONS LIST
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| Name | Monterossa, Jose Alberto |
|---|---|
| Date of Order or Settlement | June 20, 2002 |
| Sanction |
10-year trading ban with conditions 10-year director/officer ban with conditions 10-year investor relations ban with conditions An undertaking not to apply for registration until 10 years after restitution has been made\ An undertaking to repay back all outstanding monies borrowed from all his former clients An undertaking to comply with the Securities Act, Securities Rules and all applicable regulations, policies and guidelines |
| Payment Agreed / Ordered | An undertaking to make restitution |
| Violation |
Failure to deal with clients fairly, honestly and in good faith |
| Ruling Body | BCSC |
| Supporting Documents |
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